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Investment Adviser Firm Summary

KLINGENSTEIN, FIELDS & CO., LLC (CRD# 105907 / SEC# 801-33347)
Alternate Names: ASSET MANAGEMENT PARTNERS SE, LLC , KLINGENSTEIN FIELDS WEALTH ADVISORS , KLINGENSTEIN, FIELDS & CO., LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/16/1988

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 11/24/2015
California 01/28/1989
Colorado 07/26/2016
Connecticut 08/18/1997
Delaware 12/02/2003
Florida 02/23/1989
Illinois 03/18/1998
Louisiana 08/11/2017
Maryland 01/01/2000
Massachusetts 03/18/1994
Nebraska 03/20/2008
New Jersey 04/10/1989
New York 11/02/1988
Ohio 11/01/2016
Pennsylvania 03/20/2008
Rhode Island 03/30/2011
South Dakota 03/29/2018
Texas 02/14/2005
Virginia 02/02/1989
Washington 08/02/1989

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser